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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2006-10-03
CO RA APPROVED 1999-01-01
  • TX RA
    APPROVED_RES
    Since 2006-10-03
  • CO RA
    APPROVED
    Since 1999-01-01

Branch Locations

333 W Drake Rd Ste 130, Fort Collins, CO 80526-6319 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Fort Collins CO 09/2005 03/2020
Ameriprise Financial Services, Llc Fort Collins CO 03/2020 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-08-09
  • S63 Uniform Securities Agent State Law Examination
    1991-08-09
Other Names
  • Karl Wilton Harman
  • Karl Harman

View on SEC IAPD

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